- Post-Effective Amendment to an S-8 filing (S-8 POS)
December 22 2009 - 9:29AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on December 22, 2009
Registration Statement No. 333-153533
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Post-Effective Amendment No. 1 to
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
NEUROBIOLOGICAL TECHNOLOGIES, INC.
(Exact name of Registrant as Specified in Its Charter)
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Delaware
(State or Other Jurisdiction
of Incorporation or Organization)
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94-3049219
(I.R.S. Employer Identification No.)
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2000 Powell Street, Suite 800, Emeryville, California 94608 (510) 595-6000
(Address, including zip code, and telephone number, including area code, of Registrants principal executive offices)
Amended and Restated 2003 Equity Incentive Plan
Stand-Alone Inducement Option*
(Full Title of the Plan)
* See Termination of Registration below
Matthew M. Loar
2000 Powell Street, Suite 800
Emeryville, California 94608
(510) 595-6000
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copy
to:
Stephen C. Ferruolo
Goodwin Procter LLP
4365 Executive Drive, Suite 300
San Diego, CA 92121
(858) 202-2700
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated
filer, a non-accelerated filer, or a smaller reporting company. See definitions of large
accelerated filer, accelerated filer, and smaller reporting company in Rule 12b-2 of the
Exchange Act. (Check one):
Large accelerated filer
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Accelerated filer
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Non-accelerated filer
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(Do not check if a smaller reporting company)
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Smaller reporting company
þ
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CALCULATION OF REGISTRATION FEE
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Amount
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Proposed Maximum
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Proposed Maximum
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Amount of
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Title of Securities
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to be
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Offering Price
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Aggregate
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Registration
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to be Registered
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Registered
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per Share
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Offering Price
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Fee
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See below (1)
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N/A
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N/A
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N/A
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N/A
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(1)
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The registrant is not registering additional securities.
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TERMINATION OF REGISTRATION
This Post-Effective Amendment No. 1 relates to the Registration Statement on Form S-8
(Registration No. 333-153533) of Neurobiological Technologies, Inc. (the
Company
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Pursuant to the Registration Statement, the Company registered (i) 3,200,000 shares of common
stock issuable under the registrants Amended and Restated 2003 Equity Incentive Plan (the
Plan
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pursuant to an amendment to the Plan that was approved by the registrants stockholders on May 30,
2008, and (ii) 150,000 shares of common stock issuable under a previously announced stand-alone
inducement stock option award granted on April 1, 2008 to the registrants Vice President and Chief
Financial Officer (collectively, the
Shares
). The Company is filing this Post-Effective Amendment
No. 1 to deregister all of the Shares registered under the Registration Statement that remain
unsold as of the date hereof. The Company is deregistering such Shares in connection with its plan
of complete liquidation and dissolution, as described in the Companys proxy statement filed with
the Securities and Exchange Commission on September 22, 2009 and approved by the Companys
stockholders at a special meeting of stockholders held on October 27, 2009.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it
has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and
has duly caused this Post-Effective Amendment No. 1 to the Registration Statement to be signed on
its behalf by the undersigned, thereunto duly authorized, in the City of Emeryville, State of
California, on this 18th day of December 2009.
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NEUROBIOLOGICAL TECHNOLOGIES, INC.
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By:
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/s/ Matthew M. Loar
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Matthew M. Loar
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Vice President and Chief Financial Officer
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Date: December 22, 2009
Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 1 to
the Registration Statement has been signed by the following persons in the capacities and on the
dates indicated:
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Signature
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Title
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Date
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Acting
Chief Executive
Officer and Director
(Principal Executive
Officer)
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December 22, 2009
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/s/ Matthew M. Loar
Matthew M. Loar
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Vice
President, Chief
Financial Officer and
Director
(Principal
Financial and
Accounting Officer)
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December 22, 2009
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Director
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December 22, 2009
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*By:
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/s/ Matthew M. Loar
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Attorney-in-Fact
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